Rule 13e-1

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
FilingFeeAdoptingRelease.FinalSS.pdf	Supporting Statement A	Uploaded 2023-03-13	Repair queued
February 5, 2020 EDGAR PIA.pdf	Supplementary Document	Uploaded 2023-03-07	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34792	Rule 13e-1		Modified

ICR Details

OMB Control No: 3235-0305	ICR Reference No: 202303-3235-024
Status: Historical Active	Previous ICR Reference No: 202208-3235-021
Agency/Subagency: SEC	Agency Tracking No: CF 270-255
Title: Rule 13e-1
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/21/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/13/2023
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2026	36 Months From Approved	11/30/2025
Responses	10	0	10
Time Burden (Hours)	28	0	25
Cost Burden (Dollars)	34,000	0	30,000

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Abstract: Rule 13e-1 was added to the Exchange Act to make it unlawful for an issuer who has received notice that it is the subject of a tender offer made under Section 14(d)(1) of the Act which has commenced under Rule 14d-2 to purchase any equity securities during the tender offer unless it first files a statement with the Commission containing the required information.

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Authorizing Statute(s): US Code: 15 USC 78c, 78l, 78m, 78n, 78o(d) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77g, 77j, 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78w(a), 78ll Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-8, 80a-24, 80a-29, 80a-37 Name of Law: Investment Company Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL96	Final or interim final rulemaking	86 FR 70166	12/09/2021

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 13e-1

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	10	10	0	0	0	0
Annual Time Burden (Hours)	28	25	0	3	0	0
Annual Cost Burden (Dollars)	34,000	30,000	0	4,000	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The rule amendments will modernize filing fee disclosure and payment methods. The amendments will revise most fee-bearing forms, schedules, statements, and related rules to require each filing fee table and accompanying disclosure to include all required information for fee calculation in a structured format using Inline XBRL. The amendments also will add options for fee payment via ACH and debit and credit cards and eliminate options for fee payment via paper checks and money orders. Finally, the amendments also will make other fee-related revisions. The Commission anticipates that the amendments will, in the aggregate, increase the burdens and costs on affected entities due to changes in fee calculation disclosure requirements and the new requirement to structure fee-related information. For purposes of the PRA, the Commission estimates that, for Rule 13e-1, the amendments will result in an increase of three burden hours and an increase in the cost burden of $4,000 for the services of outside professionals. The changes in burden also reflect the Commission’s revision and update of burden estimates for all information collections under Form Rule 13e-1’s OMB control number 3235-0305 (whether or not associated with rulemaking changes), and the Commission requested public comment on all those information collection burden estimates for this OMB control number. All of the changes in burden stem from the rulemaking rather than an update of burden estimates not associated with the rulemaking.

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Annual Cost to Federal Government: $125,800,170

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/13/2023

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